Table of Authorities - pli.edu · Ind. State Police Pension Tr., Ctr. for Auto Safety, Patricia...

Table of Authorities

(References are to pages.)

CASESBarnett Bank of Marion Cnty., N.A. v.

Nelson, Fla. Ins. Comm’r ................. 10-15, 10-24, 10-30, 10-31Bloomberg, L.P. v. Bd. of Governors ............................................ 3-10Bus. Roundtable & Chamber of Commerce of the

U.S.A. v. Sec. & Exch. Comm’n ........................................... 8-55Chrysler, In re ............................................................................. 3-16Cuomo v. Clearing House Ass’n, L.L.C. .............................1-7, 10-24Fox News Network, LLC v. Bd. of Governors .............................. 3-10In re Chrysler .............................................................................. 3-16Ind. State Police Pension Tr., Ctr. for Auto Safety,

Patricia Pascale v. Chrysler ................................................... 3-16McCulloch v. Maryland ................................................................. 1-5MetLife, Inc. v. Fin. Stability

Oversight Council ..................................... 4-67, 4-69, 4-70, 4-71Michigan v. Envt’l Prot. Agency .................................................. 4-71Morrison v. Nat’l Austl. Bank Ltd. .....................................4-30, 4-31State Nat’l Bank of Big Spring, Tex., et al. v. Geithner ............. 10-27Wachovia Bank v. Watters .......................................................... 10-24Watters v. Wachovia Bank N.A ...........................................1-7, 10-24

T–1(Fin. Servs. Reg., Rel. #3, 3/17)

STATUTES

Statutes by NameAdministrative Procedure Act .............................................4-10, 4-69Alternative Mortgage Transaction Parity Act of 1982 ....10-17, 10-28American Recovery and Reinvestment Act of 2009 .................... 7-72Bank Holding Company Act of 1956

generally .................................................. 1-12, 1-13, 1-14, 1-24,.................................... 1-25, 4-15, 5-13, 6-6, 6-7, 6-14, 6-24,.................... 6-26, 6-49, 6-51, 7-5, 7-7, 7-8, 7-18, 7-20, 7-31

§ 2(c)(2)(D) ........................................................................... 6-44§ 2(g)(2) ................................................................................ 6-45§ 3 ......................................... 4-29, 4-30, 7-17, 7-23, 7-29, 7-36§ 4 ......................................... 4-29, 4-30, 4-52, 4-55, 7-30, 7-37§ 4(c)(6) .......................................................................4-53, 7-30§ 4(c)(8) .................................................... 4-48, 7-15, 7-16, 7-30§ 4(c)(9) .......................................................................6-10, 6-13§ 4(c)(13) .....................................................................6-10, 6-13§ 4(k) .................................... 4-15, 4-18, 4-28, 4-48, 4-53, 4-54,

................................ 4-55, 4-57, 4-60, 4-61, 4-69, 5-13, 5-44,

........................5-45, 7-12, 7-13, 7-14, 7-15, 7-16, 7-21, 7-30§ 4(k)(4)(B) ...................................................................4-59, 4-61§ 4(k)(4)(I) ............................................................................. 4-59§ 4(m) ................................................................................... 7-29§ 5 ...............................................................................7-21, 7-23§ 13 ........................................................................................ 6-8§ 13(d)(1)(G) .......................................................6-45, 6-46, 6-47

Bank Secrecy Act of 1970 ...................................................1-10, 1-13Change in Bank Control Act .................................... 7-16, 7-17, 7-18Banking Act of 1933 .................................................................... 1-16Clean Air Act .............................................................................. 4-71Commodity Exchange Act

generally ........................................................ 4-78, 9-2, 9-4, 9-6,.....................................................9-7, 9-15, 9-16, 9-18, 9-27,..................................................9-32, 9-36, 9-37, 9-41, 10-22

§ 1a(10) ................................................................................ 6-45§ 5b(c)(2) ............................................................................... 9-31§ 8(a)(2) ................................................................................ 9-35§ 8(a)(3) ................................................................................ 9-35

Community Reinvestment Act ........................ 7-13, 7-15, 10-7, 10-9Consumer Financial Protection Agency Act of 2009 ................... 10-9

§ 1002 .................................................................................. 10-9§ 1012 ................................................................................ 10-10§ 1015 ................................................................................ 10-10

FINANCIAL SERVICES REGULATION DESKBOOK

T–2

§ 1018 ................................................................................ 10-10§ 1021 ............................................................10-9, 10-10, 10-19§ 1025 .................................................................................. 10-9§ 1032 .................................................................................. 10-9§ 1032–36 ............................................................................. 10-9§ 1052 ................................................................................ 10-10§ 1053 ................................................................................ 10-10§ 1055 ................................................................................ 10-10§ 1064 ................................................................................ 10-10

Consumer Leasing Act of 1976 ................................................. 10-17Depository Institution Management Interlocks Act ...........4-29, 7-19Dodd-Frank Wall Street Reform and

Consumer Protection Act of 2010generally ................................... 1-3, 1-8, 1-13, 1-14, 1-15, 1-16,

.................................... 1-18, 1-21, 1-23, 2-7, 2-8, 2-12, 2-14,

...........................3-2, 3-10, 3-11, 3-12, 3-21, 3-26, 4-3, 4-11,

.......................4-14, 4-15, 4-16, 4-17, 4-18, 4-19, 4-20, 4-25,

............. 4-26, 4-27, 4-28, 4-29, 4-30, 4-31, 4-33, 4-34, 4-35,

............. 4-36, 4-37, 4-44, 4-52, 4-53, 4-54, 4-56, 4-57, 4-61,

................. 4-67, 4-74, 4-81, 4-85, 5-2, 5-9, 5-13, 5-14, 5-15,

................................ 5-17, 5-18, 5-19, 5-20, 5-25, 5-28, 5-29,

......................................... 5-42, 5-45, 6-2, 7-3, 7-7, 8-2, 9-14§ 102 ..................................................................4-15, 4-16, 4-32§ 102(a)(6) ...................................................................4-48, 4-69§ 102(b) ................................................................................ 4-37§ 110(c) ........................................................................4-32, 4-33§ 111 ..................................................................4-11, 4-12, 4-33§ 112 ...............................................4-12, 4-13, 4-14, 4-33, 4-35§ 113 .................................... 4-12, 4-13, 4-16, 4-17, 4-18, 4-19,

................................. 4-32, 4-44, 4-48, 4-61, 4-62, 4-69, 4-75§ 113(c) ........................................................................4-55, 4-56§ 113(h) ................................................................................ 4-69§ 114 .................................................................................... 4-27§ 115 ..................................... 4-13, 4-14, 4-19, 4-22, 4-31, 4-33§ 116 ..................................................................4-13, 4-31, 4-36§ 117 .................................................................................... 4-30§ 120 ........................................................ 4-13, 4-26, 4-27, 4-66§ 121 ...........................................................................4-26, 4-32§ 122 .................................................................................... 4-14§ 123 .................................................................................... 4-14§ 151 .................................................................................... 4-35§ 152 .................................................................................... 4-33§ 153 ..................................................................4-33, 4-34, 4-36§ 154 ..................................................................4-34, 4-35, 4-36§ 161 ...........................................................................4-28, 4-29



§ 163 ...........................................................................4-29, 7-30§ 163(b) .......................................................................7-29, 7-30§ 164 .................................................................................... 4-29§ 165 ....................................................... 4-19, 4-20, 4-21, 4-22,

......................................... 4-23, 4-24, 4-25, 4-31, 4-33, 4-62,

.......................................... 4-64, 4-73, 4-74, 5-46, 5-51, 7-39§ 165(b)(3) ............................................................................ 4-75§ 165(d) ................................. 7-57, 7-59, 7-60, 7-61, 7-62, 7-63§ 165(d)(2) ...................................................................4-61, 4-62§ 165(i) ................................................................................. 7-61§ 166 .................................................................................... 4-25§ 167 ...........................................................................4-19, 4-27§ 167(a) ................................................................................ 4-55§ 170 .................................................................................... 4-19§ 171 ..................................... 4-74, 7-37, 7-38, 7-39, 7-40, 7-43§ 174 .................................................................................... 7-43§ 201 ..................................................................5-13, 5-14, 5-20§ 201(a)(11) .......................................................................... 5-44§ 202 ........................................................ 5-15, 5-16, 5-18, 5-27§ 202(e) ................................................................................. 5-27§ 203 ..................................................................5-15, 5-17, 5-27§ 203(e) ...............................................................5-38, 5-39, 5-40§ 204 ...........................................................................5-18, 5-19§ 205 ..................................................................5-16, 5-23, 5-24§ 206 .................................................................................... 5-18§ 209 ...........................................................................5-25, 5-27§ 210 ..............................................5-15, 5-16, 5-17, 5-18, 5-19,

.......................................... 5-20, 5-21, 5-22, 5-23, 5-25, 5-26§ 210(a)(11) .......................................................................... 5-31§ 210(c)(13)(C) ...................................................................... 5-37§ 210(c)(16) .......................................................................... 5-42§ 210(n) ................................................................................ 5-40§ 210(n)(2) ............................................................................ 5-40§ 210(n)(5) ............................................................................ 5-40§ 210(n)(5)(A) ....................................................................... 5-41§ 210(n)(6) ...................................................................5-40, 5-41§ 210(o) ................................................................................ 5-40§ 210(s) ................................................................................. 5-30§ 213 .................................................................................... 5-26§ 214 ...........................................................................5-18, 5-25§ 215 .................................................................................... 5-25§ 216 .................................................................................... 5-27§ 217 .................................................................................... 5-27§ 301 .................................................................................... 7-10§ 311 ...................................................................................... 7-9


T–4

§ 327 ...................................................................................... 7-9§ 331 .................................................................................... 7-64§ 332 .................................................................................... 7-65§ 334 .................................................................................... 7-64§ 335 .................................................................................... 7-68§ 341 .................................................................................... 7-11§ 343 .................................................................................... 7-68§ 403 ...............................................................................8-3, 8-4§ 404 ..................................................................8-21, 8-22, 8-24§ 404(b)(11) .......................................................................... 8-25§ 405 .................................................................................... 8-25§ 406 .................................................................................... 8-25§ 407 .............................................................................8-3, 8-23§ 408 .............................................................................8-3, 8-23§ 409 ......................................................................8-4, 8-5, 8-18§ 410 ......................................................................8-4, 8-5, 8-15§ 411 .................................................................................... 8-25§ 413 ...........................................................................8-27, 8-28§ 413(a) ................................................................................ 8-27§ 413(b)(2)(A) ........................................................................ 8-27§ 602 .................................................................................... 7-21§ 603 ...........................................................................7-20, 7-21§ 604 ..................................................................7-21, 7-22, 7-23§ 604(e) ........................................................................7-29, 7-30§ 605 .................................................................................... 7-22§ 606 .................................................................................... 7-13§ 606(a) ................................................................................ 7-29§ 606(b) .......................................................................7-13, 7-29§ 607 .................................................................................... 7-24§ 608 ..................................................................7-32, 7-33, 7-34§ 610 .................................................................................... 7-34§ 611 .................................................................................... 7-35§ 612 ...........................................................................7-30, 7-31§ 613 .................................................................................... 7-31§ 614 .................................................................................... 7-34§ 615 .................................................................................... 7-34§ 616 .................................................................................... 7-28§ 618 ...........................................................................7-35, 7-36§ 619 ............................................................ 6-3, 6-8, 6-44, 6-50§ 619(a)(1) .....................................................................6-8, 6-11§ 619(a)(2) .....................................................................6-8, 6-15§ 619(b) ................................................................................ 6-16§ 619(c) ................................................................................. 6-15§ 619(c)(3) ............................................................................ 6-16§ 619(d) ................................................................................ 6-10



§ 619(d)(1)(G) ..............................................................6-13, 6-47§ 619(d)(1)(I) ......................................................................... 6-13§ 619(d)(2) ............................................................................ 6-10§ 619(d)(3) ............................................................................ 6-13§ 619(d)(4)(B) ........................................................................ 6-13§ 619(e) ................................................................................. 6-15§ 619(f)(1) ............................................................................. 6-14§ 619(f)(2) ............................................................................. 6-14§ 619(f)(3) ............................................................................. 6-14§ 619(h)(1) .............................................................................. 6-8§ 619(h)(2) ............................................................................ 6-11§ 619(h)(4) .............................................................................. 6-9§ 619(h)(6) .............................................................................. 6-9§ 619(h)(7) ............................................................................ 6-16§ 621 ...........................................................................8-43, 8-44§ 622 ...............................................7-24, 7-25, 7-26, 7-27, 7-28§ 623 .................................................................................... 7-24§ 624 .................................................................................... 7-11§ 626 .................................................................................... 7-11§ 627 .................................................................................... 7-31§ 628 .................................................................................... 7-31§ 712 .................................................................................... 9-14§ 716 ..................................................................9-27, 9-28, 9-29§ 718 .................................................................................... 9-16§ 721 ...................9-14, 9-15, 9-17, 9-18, 9-21, 9-25, 9-30, 9-32§ 722 .................................................................................... 9-16§ 723 ...........................................................................9-19, 9-21§ 723(c)(3) ............................................................................ 9-32§ 724 .................................................................................... 9-23§ 725 ...........................................................................9-16, 9-20§ 726 .................................................................................... 9-26§ 727 .................................................................................... 9-32§ 729 .................................................................................... 9-21§ 731 ...........................................................................9-21, 9-36§ 737 ...........................................................................9-24, 9-25§ 746 .................................................................................... 9-26§ 747 ...........................................................................9-26, 9-27§ 748 .................................................................................... 9-27§ 753 .................................................................................... 9-30§ 754 .................................................................................... 9-30§ 761 ...........................................................................9-17, 9-18§ 763 ...................9-19, 9-20, 9-21, 9-22, 9-23, 9-24, 9-25, 9-27§ 765 .................................................................................... 9-26§ 766 .................................................................................... 9-26§ 767 .................................................................................... 9-16


T–6

§ 772 .................................................................................... 9-25§ 774 .................................................................................... 9-30§ 803 .................................................................................... 4-78§ 804 .................................................................................... 4-13§ 805(a) .......................................................................4-80, 4-85§ 806(e) ................................................................................. 4-80§ 911 ...........................................................................8-26, 8-27§ 913 ...........................................................................8-25, 8-28§ 913(b) ................................................................................ 8-25§ 913(g) ........................................................................8-25, 8-26§ 913(g)(1) ............................................................................ 8-26§ 913(g)(2) ............................................................................ 8-25§ 914 ...........................................................................8-25, 8-31§ 914(a) ................................................................................ 8-25§ 915 .................................................................................... 8-27§ 916 .................................................................................... 8-31§ 916(a) ................................................................................ 8-31§ 916(b) ................................................................................ 8-31§ 919 .................................................................................... 8-26§ 921 .................................................................................... 8-32§ 922 ...........................................................................8-32, 8-34§ 925 .................................................................................... 8-32§ 926 ...........................................................................8-32, 8-33§ 929E .................................................................................. 8-33§ 929J ................................................................................... 8-33§ 929L .................................................................................. 8-33§ 929M ................................................................................. 8-32§ 929N ................................................................................. 8-32§ 929O ................................................................................. 8-32§ 929P .........................................................................8-33, 8-35§ 929Q ................................................................................. 8-34§ 929X .................................................................................. 8-27§ 929X(a) .............................................................................. 8-27§ 929X(b) .............................................................................. 8-27§ 929Y .................................................................................. 8-36§ 932 ........................................................ 8-36, 8-37, 8-38, 8-39§ 932(a) ................................................................................ 8-38§ 932(p) ................................................................................ 8-41§ 932(q) ................................................................................ 8-40§ 932(s) ................................................................................. 8-40§ 933 .................................................................................... 8-38§ 934 .................................................................................... 8-37§ 935 .................................................................................... 8-39§ 936 .................................................................................... 8-40§ 938 ...........................................................................8-39, 8-40



§ 939 .................................................................................... 8-41§ 939B .................................................................................. 8-40§ 939G ................................................................................. 8-37§ 941 .................................................................................... 8-42§ 941(a) ................................................................................ 8-42§ 941(b) ................................................................................ 8-41§ 941(c) ................................................................................. 8-42§ 941(i) ................................................................................. 8-43§ 951(a) ................................................................................ 8-50§ 951(b) .......................................................................8-50, 8-51§ 951(d) ................................................................................ 8-51§ 952 .................................................................................... 8-46§ 952(a) ................................................................................ 8-46§ 952(b) ................................................................................ 8-46§ 952(c) ................................................................................. 8-46§ 953(a) ................................................................................ 8-50§ 953(b) ................................................................................ 8-50§ 954 .................................................................................... 8-53§ 955 .................................................................................... 8-46§ 956 .................................................................................... 8-54§ 956(c) ................................................................................. 8-54§ 956(e) ................................................................................. 8-54§ 956(f) ................................................................................. 8-54§ 957 .................................................................................... 8-50§ 971(b) ................................................................................ 8-54§ 975 ...........................................................................8-44, 8-45§ 975(b) ................................................................................ 8-45§ 984 .................................................................................... 8-27§ 1001 .............................................................................4-8, 4-9§ 1002(5) ............................................................................ 10-19§ 1002(6) ............................................................................ 10-19§ 1002(12) .......................................................................... 10-17§ 1002(14) .......................................................................... 10-17§ 1002(15) ...............................................................10-19, 10-21§ 1011 ................................................................................ 10-16§ 1012 ................................................................................ 10-17§ 1017 ................................................................................ 10-25§ 1018 ................................................................................ 10-25§ 1021 ................................................................................ 10-19§ 1022 ................................................................................ 10-17§ 1023 ................................................................................ 10-23§ 1024 ................................................................................ 10-22§ 1025 ................................................................................ 10-18§ 1025(e)(1)(B) .................................................................... 10-18§ 1026 ................................................................................ 10-18


T–8

§ 1027 .....................................................................10-21, 10-22§ 1028 ................................................................................ 10-26§ 1029A .............................................................................. 10-25§ 1042 .....................................................................10-24, 10-25§ 1044 .....................................................................10-23, 10-24§ 1044(a) ............................................................................ 10-30§ 1045 ................................................................................ 10-24§ 1046 ................................................................................ 10-30§ 1047 ................................................................................ 10-24§ 1061 ................................................................................ 10-23§ 1063 ................................................................................ 10-27§ 1066 ................................................................................ 10-16§ 1073 .....................................................................10-26, 10-32§ 1075 .....................................................................10-25, 10-26§ 1100E .............................................................................. 10-26§ 1101 .........................................................................7-68, 7-69§ 1101(a) .............................................................................. 3-11§ 1102 .................................................................................. 7-70§ 1103 ....................................................................4-9, 7-7, 7-70§ 1104 ...........................................................................4-9, 7-70§ 1105 ...........................................................................4-9, 7-70§ 1106 .........................................................................7-70, 7-71§ 1107 .........................................................................7-70, 7-71§ 1108 .................................................................................. 7-71§ 1108(a) ................................................................................ 1-8§ 1109 .................................................................................. 7-69§ 1114 .................................................................................. 4-10§ 1115 .................................................................................. 4-10§ 1116 ...........................................................................4-10, 6-4§ 1117 .................................................................................... 4-9§ 1301 .................................................................................... 7-7§ 1302 .................................................................................. 7-71§ 1304 .................................................................................. 7-72§ 1306 .................................................................................... 7-7§ 1308 .................................................................................... 7-7§ 1310 .................................................................................... 7-7§ 1311 .................................................................................... 7-7§ 1313 .................................................................................... 4-9§ 1602 .................................................................................... 5-9§ 1604 ...........................................................................5-9, 5-10§ 1609 .................................................................................. 5-10§ 1613 .................................................................................. 5-10§ 4002(9) ............................................................................ 10-11§ 4002(19) .......................................................................... 10-12§ 4002(30) .......................................................................... 10-12



§ 4101 ................................................................................ 10-11§ 4102 ................................................................................ 10-11§ 4103 ................................................................................ 10-11§ 4111 ................................................................................ 10-13§ 4201 ................................................................................ 10-11§ 4203 ................................................................................ 10-12§ 4208 ................................................................................ 10-14§ 4313 ................................................................................ 10-14§ 4316 ................................................................................ 10-14§ 4404 ................................................................................ 10-13

Edge Act of 1919 ......................................................................... 1-12Electronic Fund Transfer Act

§ 920 .................................................................................. 10-17Emergency Economic Stabilization Act of 2008

generally ..................................... 2-4, 2-5, 2-15, 3-4, 3-11, 3-12,................................... 3-15, 3-16, 3-17, 3-18, 3-19, 3-21, 4-4

§ 3(9)(A)–(B) ......................................................................... 3-12§ 121(f)(1) ............................................................................. 3-18§ 125(b) ................................................................................ 3-18§ 129 ...................................................................................... 3-4

Equal Credit Opportunity Act ..................... 1-15, 10-7, 10-17, 10-28Fair Credit Billing Act ......................................................10-4, 10-17Fair Credit Reporting Act

generally ...........................................................1-15, 10-4, 10-17§ 615(e) ............................................................................... 10-17§ 628 .................................................................................. 10-17

Fair Debt Collection Practices Act .......................... 10-4, 10-7, 10-17Farm Credit Act of 1971 ............................................................. 6-41Federal Credit Union Act (FCUA) ......................................1-26, 1-27Federal Deposit Insurance Act

generally ............................ 1-21, 1-22, 2-11, 2-11, 5-5, 5-6, 5-7,.................................... 5-8, 5-9, 5-17, 5-20, 5-21, 5-35, 5-57,................................... 6-3, 7-32, 7-56, 7-60, 7-64, 7-71, 9-28

§ 8 ...............................................................................4-28, 7-36§ 11 ........................................................................................ 5-4§ 13 ........................................................................................ 5-4§ 13(c)(4)(G)(1) ..................................................................... 7-70§ 39(c) ................................................................................... 8-54§ 43(b)–(f) ........................................................................... 10-17

Federal Deposit Insurance Corporation ImprovementAct of 1991 ........................................................................... 1-17

Federal Deposit Insurance Reform Act of 2005 ........................... 1-17Federal Housing Enterprises Financial Safety and

Soundness Act of 1992 ......................................................... 1-30


T–10

Federal Reserve Actgenerally .................................................................1-9, 3-11, 6-3§ 13 ........................................................................................ 3-2§ 13(3) ................................... 2-3, 2-7, 2-12, 2-14, 3-2, 3-3, 3-4,

........................ 3-5, 3-8, 3-9, 3-10, 3-11, 5-3, 7-6, 7-68, 7-69§ 13(3)(A) .............................................................................. 9-27§ 23A ........................................ 1-11, 6-6, 6-7, 6-12, 6-13, 6-14,

................................. 6-15, 6-27, 6-50, 7-32, 7-33, 7-34, 9-28§ 23B ......................................................... 1-11, 6-6, 6-12, 6-14,

....................................................6-15, 6-27, 7-32, 7-33, 9-28Federal Trade Commission Act

generally ..................................................................10-17, 10-23§ 5(a) .................................................................................... 10-4

Financial System Stabilization and Reform Act of 2009 ............... 4-5Foreign Bank Supervision Enhancement Act of 1991

(FBSEA) ................................................................................. 1-14Freedom of Information Act .................................... 3-10, 4-10, 4-33,

.................................................................. 4-35, 4-36, 4-37, 4-47,

........................................................4-48, 7-52, 7-54, 7-61, 10-28Glass-Steagall Act 1933 (Banking Act of 1933) ........................... 1-16

§ 16 ........................................................................................ 6-3Gramm-Leach-Bliley Act of 1999 (GLB Act)

generally ............................................................1-12, 1-13, 1-25,......................................................4-48, 6-3, 7-11, 7-33, 9-30

§ 4(k) .................................................................................... 4-51§ 501(b) .............................................................................. 10-17§ 502–09 ............................................................................. 10-17§ 505 .................................................................................. 10-17

Hart-Scott-Rodino Act ................................................................. 7-30Helping Families Save Their Homes Act of 2009 ..............3-11, 3-12Home Mortgage Disclosure Act of 1975 ................ 1-15, 10-7, 10-17Home Owners Loan Act of 1933 (HOLA)

generally .................................................... 1-23, 6-3, 7-13, 7-15,............................................................. 7-16, 7-21, 7-31, 7-32

§ 3 ...............................................................................7-23, 7-24§ 5 ......................................................................7-11, 7-21, 7-23§ 5(a) .................................................................................... 1-24§ 10 ...................................................................................... 7-17§ 10(f) ................................................................................... 7-20

Home Owners Protection Act of 1998 ...................................... 10-17Home Ownership and Equity Protection Act of 1994 ......10-7, 10-17Housing and Economic Recovery Act of 2008 .....................1-28, 2-3International Banking Act of 1978

generally .............................................................1-14, 1-20, 4-15§ 8 .................................................................................6-8, 6-16



Interstate Land Sales Full Disclosure Act .................................. 10-17Investment Advisers Act of 1940

generally ...............................................8-2, 8-3, 8-4, 8-11, 8-19,....................................................8-21, 8-24, 8-28, 8-30, 8-31

§ 202(a) ................................................................................ 8-17§ 203 .................................................................................... 8-23§ 203(b) ................................................................................ 8-24§ 203(b)(1) .............................................................................. 8-3§ 203(b)(3) .....................................................................8-3, 8-17§ 203(l) ................................................................................. 8-24§ 203(m) ...................................................................... 6-16, 8-24§ 204(a) ................................................................................ 8-24§ 206(1) .......................................................................8-26, 8-28§ 206(2) .......................................................................8-26, 8-28§ 206(3) ................................................................................ 8-29

Investment Company Act of 1940generally .................................. 8-7, 8-9, 8-32, 8-34, 8-50, 10-21§ 3 ...............................................................................6-24, 8-10§ 3(c)(1) ................................... 6-11, 6-24, 6-25, 6-44, 8-9, 8-11§ 3(c)(5)(C) ............................................................................ 8-11§ 3(c)(7) .............................................6-11, 6-25, 6-44, 8-9, 8-11§ 7(d) .................................................................................... 8-11§ 8 ........................................................................................ 8-10§ 54 ...................................................................................... 8-10

McCarran-Ferguson Act .............................................................. 4-68National Bank Act ............................ 1-3, 1-5, 1-6, 6-47, 9-28, 10-24Omnibus Appropriations Act 2009

§ 626 .................................................................................. 10-17Over-the-Counter Derivatives Markets Act of 2009

generally ..........................................................................9-2, 9-5§ 112 ...................................................................................... 9-9§ 113 ...........................................................................9-10, 9-11§ 117 ...................................................................................... 9-9§ 118 .................................................................................... 9-11§ 153 ....................................................................9-9, 9-10, 9-11§ 154 ...................................................................................... 9-9§ 711 ........................................................................9-5, 9-6, 9-9§ 713 ........................................................................9-6, 9-7, 9-9§ 714 ...................................................................................... 9-7§ 715 ...................................................................................... 9-7§ 716 ...................................................................................... 9-7§ 717 ...................................................................................... 9-8§ 719 ...................................................................................... 9-7§ 753 ................................................................ 9-6, 9-7, 9-8, 9-9§ 754 ...................................................................................... 9-7§ 758 ...................................................................................... 9-6


T–12

Pay It Back Act ...................................................................7-71, 7-72Real Estate Settlement Procedures Act of 1974 .................10-2, 10-4,

....................................................................................10-7, 10-17Resolution Authority for Systemically

Significant Financial Companies Act of 2009§ 2(a) ...................................................................................... 5-5§ 2(b) ...................................................................................... 5-4§ 2(e) ....................................................................................... 5-6§ 2(h) ........................................................................5-5, 5-6, 5-7§ 2(j) ................................................................................ 5-6, 5-7§ 2(o) ...................................................................................... 5-6

Restoring American Financial Stability Act of 2010§ 112 .................................................................................... 4-10§ 117 .................................................................................... 4-11§ 153 .................................................................................... 4-10§ 155 .................................................................................... 4-10§ 166 .................................................................................... 4-11§ 171 ...................................................................................... 7-8§ 177 .................................................................................... 4-17§ 202 .................................................................................... 5-11§ 203 .................................................................................... 5-11§ 205 .................................................................................... 5-12§ 206 .................................................................................... 5-12§ 207 .................................................................................... 5-11§ 210 ........................................................................... 5-12, 5-13§ 341 ...................................................................................... 7-7§ 603 ...................................................................................... 7-8§ 605 ...................................................................................... 7-7§ 620 ...................................................................................... 7-8§ 1011 ................................................................................ 10-14§ 1017 ................................................................................ 10-15§ 1022 ................................................................................ 10-15§ 1023 ................................................................................ 10-15§ 1024 ................................................................................ 10-15§ 1042 ................................................................................ 10-15§ 1044 ................................................................................ 10-15§ 1074 ................................................................................ 10-16§ 1079 ................................................................................ 10-16

S.A.F.E. Mortgage Licensing Act of 2008 ................................... 10-17Sarbanes-Oxley Act of 2002

§ 301 .................................................................................... 8-47Savings and Loan Holding Company Act ..................1-24, 7-13, 7-29Securities Act of 1933

generally ...................................8-14, 8-27, 8-32, 9-6, 9-15, 9-27§ 7 ........................................................................................ 8-37§ 11 ............................................................................. 8-37, 8-38



Securities Exchange Act of 1934generally ...........................................4-78, 6-39, 8-26, 8-32, 9-6,

......................................................9-7, 9-15, 9-16, 9-17, 9-27§ 3(a)(11) ................................................................................ 8-7§ 9 ........................................................................................ 8-33§ 9(b) .................................................................................... 8-33§ 9(c) ..................................................................................... 8-33§ 10(a)(1) .............................................................................. 8-33§ 10A(m) .............................................................................. 8-47§ 10C(a) ................................................................................ 8-47§ 10C(g) ................................................................................ 8-49§ 13 ......................................................................8-8, 9-12, 9-26§ 13(d) .................................................................................. 9-26§ 13(f) .................................................................8-27, 8-51, 9-26§ 13(g) ................................................................................... 9-26§ 15(c)(1)(A) .......................................................................... 8-33§ 15(d) .................................................................................... 8-8§ 16 ...................................................................................... 9-26§ 17A .............................................................................8-49, 9-8§ 17A(b)(7)(A) ....................................................................... 8-49§ 21E .................................................................................... 8-38§ 38(b) .................................................................................. 1-29

Securities Investor Protection Act (SIPA) ....5-5, 5-8, 5-16, 5-23, 5-24§ 8(c) ..................................................................................... 5-24

Sunshine Act ............................................................................... 4-10Truth in Lending Act .............................1-15, 8-42, 10-2, 10-3, 10-4,

..................................................10-7, 10-17, 10-22, 10-26, 10-28Truth in Savings Act ............................................. 10-4, 10-17, 10-28Uniting and Strengthening America by Providing

Appropriate Tools Required to Intercept andObstruct Terrorism Act of 2001(USA PATRIOT Act) ....................................................1-10, 1-13

Wall Street Transparency and Accountability Act of 2010§ 711 .................................................................................... 9-13§ 712 .................................................................................... 9-12§ 716 .................................................................................... 9-13§ 723 .................................................................................... 9-12§ 724 .................................................................................... 9-13§ 727 .................................................................................... 9-13§ 731 .................................................................................... 9-12§ 763 ...........................................................................9-12, 9-13§ 766 .................................................................................... 9-12


T–14

Public Laws107-204 Sarbanes-Oxley Act of 2002 .......................................... 8-47109-171 Federal Deposit Insurance Reform

Act of 2005 (2006) ................................................................ 1-17110-289 Housing and Economic Recovery

Act of 2008 (2008) ................................................................ 1-28§ 1133 .................................................................................. 1-28§ 1303 .................................................................................. 1-28

110-343 Emergency Economic Stabilization Act of 2008(Oct. 3, 2008) ......................................................................... 4-4

111-22 Act of May 20, 2009 ....................................................... 1-18111-203 Dodd-Frank Wall Street Reform and

Consumer Protection Act(July 21, 2010) ................................................. 1-3, 2-1, 3-2, 4-3,..................................................................5-2, 6-2, 7-3, 8-2, 9-14

113-279 Insurance Capital Standards ClarificationAct of 2014 ........................................................................... 4-74

United States Code (U.S.C.)TITLE 11

§ 546–48 ............................ 5-22§ 547(e) .............................. 5-31§ 548(d) ............................. 5-31

TITLE 12

§ 1 ....................................... 1-3§ 2 ....................................... 1-3§ 4(k)(4)(B) ......................... 4-57§ 21 ..................................... 1-5§ 24 ...................... 1-5, 1-6, 6-3§ 36 ..................................... 1-5§ 78c(a)(10) ........................ 6-39§ 191 ................................... 1-5§ 214a .................................. 1-5§ 215a–c .............................. 1-5§ 222 ................................... 1-9§ 232 ................................... 1-9§ 241 ................................... 1-8§ 242 ................................... 1-8§ 287 ................................... 1-9§ 289 ................................... 1-9§ 304 ................................... 1-9

§ 321 ................................... 1-9§ 343 ................................... 3-2§ 371c ........................6-13 7-32§ 371c-1 ............................. 7-32§ 461 ................................... 1-9§ 465 ................................... 1-9§ 481 .................... 1-4, 1-5, 1-6§ 483 ................ 1-4, 1-10, 1-11§ 484 ................................... 1-6§ 504 ................................. 1-11§ 505 ................................. 1-11§ 1424(a) ........................... 1-29§ 1427(a) ........................... 1-29§ 1431(b)–(c) ...................... 1-30§ 1462a .............................. 1-23§ 1462a(a) .......................... 1-23§ 1462a(c) .......................... 1-23§ 1462a(i) .......................... 1-23§ 1464 ........................1-24, 6-3§ 1464(d)(2) ....................... 1-24§ 1464(r) ............................ 7-31§ 1467a(a)(1) ...................... 1-25§ 1467a(b) .......................... 1-25



§ 1467a(b)(1) ..................... 1-25§ 1467a(c)(2)(B) ................. 7-16§ 1467a(c)(2)(F)(i) .............. 7-15§ 1467a(c)(2)(F)(ii) ............. 7-16§ 1467a(c)(3) ...................... 7-13§ 1467a(c)(9)(C) ................. 7-13§ 1467a(e) .................1-25, 7-17§ 1467a(e)(1) ...................... 1-25§ 1468(a) ........................... 7-32§ 1752 ............................... 1-26§ 1752a(b) .......................... 1-26§ 1753 ............................... 1-26§ 1754 ............................... 1-27§ 1756 ............................... 1-27§ 1759 ............................... 1-26§ 1766 ......................1-27, 1-28§ 1771 ............................... 1-27§ 1772d ............................. 1-27§ 1781 ............................... 1-27§ 1782 ............................... 1-27§ 1783 ............................... 1-27§ 1784 ............................... 1-27§ 1786 ............................... 1-27§ 1787 ............................... 1-28§ 1795 ............................... 1-28§ 1795b .....................1-27, 1-28§ 1795c .............................. 1-28§ 1812 ............................... 1-16§ 1817 ............ 1-17, 7-64, 7-65§ 1817(j) ............................ 1-11§ 1818 ......................1-18, 1-19§ 1821 .....................1-17, 1-19,

................. 1-21, 1-22, 5-4§ 1821(d)(11) ..............1-22, 5-8§ 1821(d)(17) ....................... 5-7§ 1821(e)(1) ......................... 5-6§ 1821(e)(3)(A) ..................... 5-7§ 1821(e)(8)–(10) .................. 5-7§ 1821(e)(8)(E)(i) ...........5-7, 5-8§ 1821(e)(9) ......................... 5-7§ 1821(e)(12) ................5-6, 5-7§ 1823 .............. 1-17, 1-21, 5-4§ 1823(e) ............................ 5-21§ 1828 ............................... 1-19

§ 1828(c) ............................ 1-11§ 1828(j) ............................ 7-32§ 1831a ........... 1-17, 1-19, 1-20§ 1831u ............................. 1-17§ 1841 ............................... 1-12§ 1842 ............................... 1-12§ 1843 ............................... 1-13§ 1843(c)(8) ................6-3, 7-15§ 1843(k) .......... 4-15, 6-3, 7-12§ 1843(k)(4)(B) ................... 4-51§ 1843(l) ...................1-13, 7-13§ 1844 ............ 1-12, 1-13, 1-14§ 1844(c) ............................ 7-22§ 1851 ................................. 6-3§ 1851(d)(1)(G) .................. 6-44§ 1851(d)(1)(H) .................. 6-42§ 1851(d)(2)(A) .................. 6-43§ 1851(f)(3) ........................ 6-44§ 3101 et seq. .................... 1-14§ 3102 ............................... 1-14§ 3104 ......................1-14, 1-20§ 3105 ......................1-14, 1-15§ 3108 ............................... 1-14§ 3110 ............................... 1-14§ 4511 ............................... 1-28§ 4511(a) ........................... 1-28§ 4511(b)(2) ....................... 1-28§ 4512 ............................... 1-29§ 4512(c)–(e) ...................... 1-29§ 4513(a) ........................... 1-30§ 4513a(a) .......................... 1-29§ 4514(a) ........................... 1-30§ 4517 ............................... 1-30§ 4521 ............................... 1-30§ 4561 ............................... 1-30§ 4562 ............................... 1-30§ 4563 ............................... 1-30§ 4566 ............................... 1-31§ 4616 ............................... 1-31§ 4617 ............................... 1-31§ 4631 ............................... 1-31§ 4636 ............................... 1-31§ 5202(9)(A)–(B) ................ 3-12§ 5231(f)(1) ........................ 3-18


T–16

§ 5233(b) ........................... 3-18§ 5323 ............................... 4-61§ 5323(a)(1) ....................... 4-71

§ 5365(d)(2) ....................... 4-61§ 5383(b) ........................... 5-29pt. 362 ............................... 1-19

Code of Federal Regulations (C.F.R.)TITLE 12

§ 7 ....................................... 1-6§ 34 ..................................... 1-6§ 204 ................................. 1-10§ 208 ................................. 6-37§ 208.62 ............................ 1-11§ 208.63 ............................ 1-11§ 211 et seq. ...................... 1-12§ 211.3 .............................. 1-12§ 211.4 .............................. 1-12§ 211.5 et seq. ................... 1-13§ 211.23 ............................ 6-42§ 216(3) ............................. 6-26§ 225 ................................. 6-37§ 225.2(r)(1) ....................... 7-14§ 225.2(s) ........................... 7-14§ 225.4 .............................. 1-13§ 225.8(b)(1) ...................... 7-46§ 225.8(c)(2) ...................... 7-46§ 225.8(c)(3) ...................... 7-46§ 225.8(c)(7) ...................... 7-46§ 225.8(c)(9) ...................... 7-46§ 225.8(d)(1) ...................... 7-47§ 225.8(d)(2) .............7-46, 7-47§ 225.8(f)(1) ....................... 7-48§ 225.28 ......... 1-13, 4-48, 4-49§ 225.81–.94 ...................... 7-15§ 225.86(a) ........................ 4-51§ 225.86(b) ........................ 4-51§ 225.86(b)(1)–(3) .............. 4-51§ 225.86(c) ......................... 4-51§ 225.180 ................6-29, 6-30,

.........................6-31, 6-32§ 225.180 et seq. ............... 6-28§ 225.181 ................6-29, 6-32,

.........................6-34, 6-35§ 225.181(a) ...................... 6-28

§ 225.182 .......................... 6-36§ 234.1(b) .......................... 4-80§ 234.2(a) .......................... 4-82§ 234.2(b) .......................... 4-82§ 234.2(e) ........................... 4-81§ 234.3(a) .......................... 4-82§ 234.3(b) .......................... 4-82§ 234.4(a) .......................... 4-83§ 234.4(b) .......................... 4-84§ 234.5(a) .................4-84, 4-85§ 234.5(b) .......................... 4-85§ 234.5(c) ........................... 4-84§ 238.2(e) ........................... 7-17§ 238.2(s)(1) ....................... 7-14§ 238.2(t) ........................... 7-14§ 238.11 ............................ 7-17§ 238.12 ............................ 7-17§ 238.14 ............................ 7-17§ 238.15 ............................ 7-17§ 238.53 ............................ 7-16§ 238.54 ............................ 7-16§ 238.64 ............................ 7-16§ 238.65 ............................ 7-15§ 241.2(a) .......................... 7-36§ 241.3(a) .......................... 7-36§ 241.3(b) .......................... 7-36§ 242.3 .............................. 4-58§ 242.4(a) .......................... 4-61§ 242.4(b) .......................... 4-61§ 252 ................................. 7-50§ 252.133 .......................... 7-50§ 252.153 .......................... 7-55§ 325 ........................6-37, 7-55§ 327.5(a) .......................... 7-65§ 327.8(f) ........................... 7-65§ 327.8(g) ........................... 7-66§ 327.9 .............................. 7-66



§ 347.101 et seq. ............... 1-20§ 347.206 .......................... 1-20§ 347.211 .......................... 1-20§ 362.3 .............................. 1-19§ 362.4 .............................. 1-19§ 362.11 ............................ 1-20§ 380.1 ........... 5-29, 5-38, 5-39§ 380.3 .............................. 5-29§ 380.3(b) .......................... 5-29§ 380.5 .............................. 5-29§ 380.6 .............................. 5-30§ 380.7 .....................5-30, 5-31§ 380.8 .............................. 5-45§ 380.9 .....................5-31, 5-32§ 380.10 ...................5-41, 5-42§ 380.11 ............................ 5-39§ 380.12 ......... 5-42, 5-43, 5-44§ 380.21 ............................ 5-33§ 380.22 ............................ 5-33§ 380.23 ...................5-33, 5-34§ 380.24 ............................ 5-32§ 380.25 ............................ 5-33§ 380.26 ............................ 5-34§ 380.27 ...................5-34, 5-35§ 380.32 ............................ 5-35§ 380.33 ............................ 5-35§ 380.35 ...................5-35, 5-36§ 380.36 ............................ 5-36§ 380.37 ............................ 5-36§ 380.38 ............................ 5-36§ 380.39 ...................5-36, 5-37§ 380.50 ............................ 5-37§ 380.51 ............................ 5-37§ 380.53 ............................ 5-37§ 1005.30(e) ..................... 10-33§ 1005.30(f) ..................... 10-32§ 1005.30(f)(2) ................. 10-36§ 1005.30(g) ..................... 10-33§ 1005.31(a) .................... 10-34§ 1005.31(b) .........10-33, 10-34§ 1005.31(g) ..................... 10-33§ 1005.32(a)–(b) ............... 10-34§ 1005.32(b) .........10-34, 10-36§ 1005.32(c) ..................... 10-34§ 1005.33(b) .................... 10-35

§ 1005.33(c) ..................... 10-35§ 1005.33(g) ..................... 10-35§ 1005.34(a) .................... 10-35§ 1005.34(b) .................... 10-35§ 1005.36(a) .................... 10-34§ 1005.36(c) ..................... 10-36§ 1005.36(d) .................... 10-36§ 1090.101 ...................... 10-38§ 1090.102 ...................... 10-38§ 1090.103 ...................... 10-38§ 1090.104(a) .................. 10-37§ 1090.104(b) .................. 10-37§ 1090.105 ...................... 10-38§ 1273.3 ............................ 1-30§ 1273.6 ............................ 1-30§ 1301.6(c) ......................... 4-48§ 1301.10(c) ....................... 4-47§ 1301.10(d)–(f) ................. 4-47§ 1301.10(g) ....................... 4-47§ 1301.10(h) ...................... 4-47§ 1301.10(i) ....................... 4-48pt. 1 ..................................... 6-4pt. 3 ................................... 6-37pt. 5 ..................................... 1-5pt. 21 ................................... 1-5pt. 40 ................................... 1-5pt. 46 ................................. 7-55pt. 202 ............................... 1-15pt. 203 ............................... 1-15pt. 204 ......................1-10, 1-11pt. 208 ............................... 1-11pt. 216 ............................... 1-13pt. 222 ........................1-9, 1-15pt. 223 ............................... 1-11pt. 225 ............................... 4-15pt. 226 ......................1-13, 1-15pt. 234 ............................... 4-80pt. 238 ............................... 7-12pt. 242 ............ 4-48, 4-58, 4-59pt. 325 ............................... 7-37pt. 327 ............................... 7-66pt. 370 ......................3-23, 3-26pt. 380 ......................5-28, 5-39pt. 545 ............................... 1-24pt. 1320 ....................4-78, 4-79


T–18

TITLE 17

§ 1.3(ggg) ........................... 9-40§ 1.3(hhh) .................9-41, 9-42§ 1.71 ................................ 9-37§ 1.72 ................................ 9-38§ 1.73 ................................ 9-39§ 1.74 ................................ 9-39§ 3.3 .................................. 9-37§ 3.10(a) ............................ 9-35§ 3.10(b) ............................ 9-35§ 3.10(d) ............................ 9-35§ 22.2 ................................ 9-36§ 23.22(b) .......................... 9-35§ 23.402 ............................ 9-37§ 23.410 ............................ 9-37§ 23.431 ............................ 9-37§ 23.432 ............................ 9-37§ 23.434 ............................ 9-37§ 23.440 ............................ 9-37§ 23.450 ............................ 9-37§ 23.451 ............................ 9-37§ 23.609 ............................ 9-39§ 35.1 ................................ 9-32§ 39.5 .......................9-30, 9-31§ 49.9 ................................ 9-32§ 229.407(e)(3) .................. 8-49§ 230.215(e)(1) .................. 8-28§ 240.3a67-5 ..................... 9-42§ 240.3a71-2 ..................... 9-40§ 240.10C-1(a)(2) .............. 8-48§ 240.10C-1(a)(3) .............. 8-48§ 240.10C-1(a)(4) .............. 8-47§ 240.10C-1(b) .................. 8-47§ 240.10C-1(b)(1) .............. 8-49§ 240.10C-1(b)(4) .............. 8-48§ 240.10C-1(b)(5) .............. 8-49§ 240.10C-1(c)(2) ............... 8-47§ 240.10C-1(c)(3) ............... 8-49§ 240.14a-8 .... 8-54, 8-55, 8-56§ 240.14a-11 ............8-54, 8-55§ 240.14a-21 ..................... 8-51§ 240.14a-101 ................... 8-51§ 240.21F-2 ....................... 8-34§ 240.21F-4 ....................... 8-34

§ 240.21F-6 ....................... 8-35§ 240.21F-16 ..................... 8-35§ 250.10C-1(b)(5) .............. 8-49§ 273.203(l)-1(a) .................. 8-6§ 275.202(a)(11)(G)-1(b)

........................8-18, 8-19§ 275.202(a)(11)(G)-1(c)

................................. 8-21§ 275.202(a)(11)(G)-1(d)(1) 8-20§ 275.202(a)(11)(G)-1(d)(4)

.............. 8-18, 8-19, 8-20§ 275.202(a)(11)(G)-1(d)(6)

................................. 8-18§ 275.202(a)(11)(G)-1(d)(8)

................................. 8-20§ 275.202(a)(11)(G)-1(e) .... 8-20§ 275.202(a)(11)(G)-1(e)(2)

................................. 8-21§ 275.202(a)(30)-1(a) ......... 8-14§ 275.202(a)(30)-1(c)(1) ..... 8-15§ 275.202(a)(30)-1(c)(3) ..... 8-14§ 275.202(a)(30)-1(c)(4) ..... 8-14§ 275.203A-1 ............8-15, 8-16§ 275.203A-2 ..................... 8-16§ 275.203A-5 ..................... 8-15§ 275.203(l)-1 ...................... 8-5§ 275.203(l)-1(a)(3) .............. 8-8§ 275.203(l)-1(a)(4) .............. 8-9§ 275.203(l)-1(b) ................ 8-10§ 275.203(l)-1(c)(2) .............. 8-7§ 275.203(l)-1(c)(3) .............. 8-7§ 275.203(l)-1(c)(4) ............. 8-7,

.............................8-8, 8-9§ 275.203(l)-1(c)(5) .............. 8-8§ 275.203(l)-1(c)(6) .............. 8-7§ 275.203(m)-1 .................. 8-10§ 275.203(m)-1(a) .............. 8-10§ 275.203(m)-1(b) .............. 8-11§ 275.203(m)-1(d)(2) .......... 8-12§ 275.203(m)-1(d)(3) .......... 8-10§ 275.203(m)-1(d)(5) ...8-10, 8-11§ 275.203(m)-1(d)(8) .......... 8-11§ 275.204(b)-1 ................... 8-23§ 275.204-4 ..............8-23, 8-24



§ 275.204-4(f) .................... 8-24§ 275.205-3(d)(1) ............... 8-28pt. 20 ........................9-30, 9-31pt. 23, subpt. F .................. 9-38pt. 23, subpt. J ................... 9-38pt. 39, subpt. B .................. 9-33pt. 48 ................................. 9-34

pt. 160 ............................... 9-30pt. 180 ............................... 9-30pt. 249 ............................... 8-51

TITLE 31

pt. 30 ................................. 3-19

T–20


Table of Authorities - pli.edu · Ind. State Police Pension Tr., Ctr. for Auto Safety, Patricia...

Documents

Transcript of Table of Authorities - pli.edu · Ind. State Police Pension Tr., Ctr. for Auto Safety, Patricia...